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SEC Adopts Rule Amendments to Provide Enhanced Disclosure of Rule 10b5-1 Plans and Insider Trading

On December 14, 2022, the U.S. Securities and Exchange Commission adopted amendments to Rule 10b5-1 under the Securities Exchange Act of 1934 (Exchange Act) and new disclosure requirements designed to enhance investor...more

SEC Proposes Rules for Shorter Deadlines and More Transparency in Share Ownership Reporting

On February 10, 2022, the U.S. Securities and Exchange Commission issued a proposal (Proposed rules: Modernization of Beneficial Ownership Reporting) that would amend Regulation 13D-G under the Securities Exchange Act of 1934...more

IPO and Direct Listing Planning Checklist

Executing a successful IPO or direct listing in the United States requires a significant amount of work. Much of this work has to be done well in advance of the anticipated date of the company’s organizational meeting with...more

Coronavirus Update: Employer Response, Contract Performance, and Public Company Disclosure Guidance

Impacts of Coronavirus on Commercial Agreements and Public Company Disclosures - COVID-19, a disease caused by the novel coronavirus, has now spread to at least 70 countries, including the United States. Our thoughts are...more

January 2020 SEC Updates: New Guidance on Use of Financial Metrics, Significant Proposed Changes to MD&A and More

The U.S. Securities and Exchange Commission has issued guidance on the use of financial metrics and has proposed significant amendments pertaining to Regulation S-K’s financial disclosure provisions?. In addition, SEC...more

The Rise of Direct Listings: Understanding the Trend, Separating Fact from Fiction

Direct Listings: The What, The Why and Common Misconceptions - Spotify did it. Slack did it. Many other late-stage private technology companies are reported to be seriously considering doing it. Should yours? In this...more

ISS and Glass Lewis Issue Policy Updates for the 2020 Proxy Season

Recently, Institutional Shareholder Services (ISS) and Glass Lewis released revisions to their respective proxy voting guidelines for 2020. The ISS and Glass Lewis updates applicable to U.S. companies are discussed separately...more

Key Metrics for Technology and Life Sciences Initial Public Offerings - 2018 Full Year

Survey Results - Life Sciences and Tech IPOs Continued Hot Streak in Second Half - The life sciences and technology IPO markets continued their strong performance in the second half of 2018, notwithstanding significant...more

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